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Improving Irrigation Infrastructure Greater Food and Water Security in Eastern Indonesia

INDONESIA INFRASTRUCTURE INITIATIVE

Improving Infrastructure in Irrigation Areas Towards Greater Food and Water Security in Eastern Indonesia AIIRA RESEARCH REPORT 30 December 2015

INDONESIA INFRASTRUCTURE INITIATIVE This document has been published by the Indonesia Infrastructure Initiative (IndII), an Australian Government funded project designed to promote economic growth in Indonesia by enhancing the relevance, quality and quantum of infrastructure investment. The views expressed in this report do not necessarily reflect the views of the Australia Indonesia Partnership or the Australian Government. Please direct any comments or questions to the IndII Director, tel. +62 (21) 7278-0538, fax +62 (21) 7278-0539. Website: www.indii.co.id . ACKNOWLEDGEMENTS This report has been prepared by an Indonesian and International Research Partnership comprising Nusa Cendana University (UNDANA) and Charles Darwin University (CDU), engaged under the Indonesia Infrastructure Initiative (IndII), an Australian Aid project managed by SMEC on behalf of the Australian Government, as part of the Australia Indonesia Infrastructure Research Awards (AIIRA) Program. The financial support provided by AIIRA, and input provided by Government staff in South Central Timor (TTS), East Sumba and Nagekeo Districts is gratefully acknowledged. We also thank the individuals and community householders who agreed to interviews, which underpin many of the findings presented in this report. Any errors of fact or interpretation are solely those of the authors. A full list of contributors to this research is presented in Table 3.1. We thank Dr Amphone Sivongxay (CDU) for technical assistance with the collation of the final report document. Report authors: Dr Bronwyn Myers, Assoc Prof Emma Williams, Dr Sarah Hobgen, Prof Ken Evans, Prof Herianus Lalel, Dr Penny Wurm, Ms Jenny Markus, Prof Charlie Fairfield. Kupang and Darwin 30 December 2015 © IndII 2015 The title to all Intellectual Property rights in or in relation to Agreement Material created during the course of the Activity vests in the Organisation upon its creation. The Organisation grants to DFAT a worldwide, irrevocable, royalty-free licence to use, reproduce, adapt or otherwise exploit the Agreement Material. The licence granted under this clause includes the right of DFAT to sub-licence any of its employees, agents or contractors to use, reproduce or otherwise exploit the Agreement Material for the purposes of performing functions, responsibilities, activities or services for, or on behalf of, DFAT. This clause does not affect the ownership of Intellectual Property in any Prior Material incorporated into the Agreement Material, but the Organisation grants to DFAT a permanent, irrevocable, non-exclusive, worldwide, royalty-free licence to use, reproduce, adapt and otherwise exploit such Prior Material in conjunction with the Agreement Material.

TABLE OF CONTENTS LIST OF TABLES ....................................................................................................... VI LIST OF FIGURES..................................................................................................... VII ACRONYMS ............................................................................................................. X EXECUTIVE SUMMARY .......................................................................................... XIII CHAPTER 1: BACKGROUND..................................................................................... 15 1.1 1.2 1.3 1.4 1.5

INTRODUCTION ............................................................................. 15 CONTEXT FOR THE RESEARCH ............................................................ 16 RESEARCH APPROACH .................................................................... 20 LINKS WITH INDII, DFAT AND GOI INFRASTRUCTURE OBJECTIVES AND POLICIES21 SUMMARY OF PAST AND CURRENT RELATED PROGRAMS IN THE AREA ......... 22 1.5.1 Basin and irrigation management .......................................... 22 1.5.2 Irrigation and rural Funding programs ................................... 24 1.5.3 Community sanitation and water .......................................... 27

CHAPTER 2: GOALS AND OBJECTIVES ...................................................................... 33 2.1 2.2 2.3 2.4 2.5

GOALS ........................................................................................ 33 RESEARCH OBJECTIVES AND QUESTIONS .............................................. 33 PROJECT ACTIVITIES ....................................................................... 34 OUTPUTS, OUTCOMES AND END USERS ............................................... 35 CAPACITY BUILDING ....................................................................... 42

CHAPTER 3: TEAM COMPOSITION........................................................................... 44 3.1 3.2

3.3 3.4 3.5 3.6

PROJECT TEAM MEMBERS ................................................................ 44 DISTRIBUTION OF TASKS ACROSS PARTNERS ......................................... 45 3.2.1 Research management .......................................................... 45 3.2.2 Research implementation ...................................................... 46 INTERNAL QUALITY ASSURANCE ........................................................ 46 PARTNERSHIP’S RESPONSES TO MID-TERM REPORT ............................... 47 GENDER, SOCIAL INCLUSION, ENVIRONMENT ISSUES ............................... 48 LESSONS LEARNED ......................................................................... 49

CHAPTER 4: RESEARCH FINDINGS – UNDERSTANDING THE CATCHMENT ................. 50 4.1 4.2 4.3 4.4

INTRODUCTION – AIM, SCOPE AND RATIONALE...................................... 50 METHODS.................................................................................... 50 REVIEW OF CURRENT UNDERSTANDING OF RELATIVE CONTRIBUTIONS OF SEDIMENT SOURCES IN NTT AND TL ................................................... 50 CATCHMENT MANAGEMENT PLANS AND PRACTICES IN NTT ..................... 54

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4.5 4.6 4.7

REVIEW OF METHODS FOR ESTIMATION OF SEDIMENTATION AND RELATIVE CONTRIBUTION OF SEDIMENT SOURCES ............................................... 57 GAPS IN KNOWLEDGE AND FUTURE MONITORING FOR SEDIMENT MANAGEMENT .............................................................................. 59 RECOMMENDATIONS ...................................................................... 60

CHAPTER 5: RESEARCH FINDINGS: IMPROVING PHYSICAL IRRIGATION INFRASTRUCTURE .................................................................................................. 62 5.1 5.2 5.3 5.4 5.5 5.6

5.7 5.8

5.9 5.10

5.11 5.12 5.13

5.14

INTRODUCTION – AIM, SCOPE AND RATIONALE .................................... 62 METHODS.................................................................................... 63 KAMBANIRU WEIR INSPECTION ......................................................... 64 RECOMMENDATIONS ARISING FROM THE KAMBANIRU WEIR INSPECTION .... 65 KAMBANIRU IRRIGATION CHANNELS INSPECTION ................................... 66 RECOMMENDATIONS – KAMBANIRU IRRIGATION CHANNELS .................... 77 5.6.1 Regarding access manholes ................................................... 77 5.6.2 Lambanapu saturated area .................................................... 78 5.6.3 Remediation of flood impacts due to an ephemeral stream in the Lambanapu District .......................................................... 79 AESESA WEIR INSPECTION ................................................................ 81 RECOMMENDATIONS ARISING FROM THE AESESA RIVER WEIR INSPECTIONS . 84 5.8.1 Upstream weir pool................................................................ 84 5.8.2 Bypass channel ....................................................................... 84 AESESA RIVER IRRIGATION CHANNEL INSPECTIONS................................. 85 RECOMMENDATIONS ARISING FROM THE AESESA RIVER IRRIGATION SYSTEM INSPECTIONS ................................................................................ 87 5.10.1 Unstable embankments abutting tops of channels. 87 5.10.2 Vegetation, sediment and rubbish .......................... 87 NOELMINA WEIR INSPECTION ........................................................... 87 NOELMINA IRRIGATION CHANNEL INSPECTIONS .................................... 89 RECOMMENDATIONS ARISING FROM THE NOELMINA IRRIGATION SYSTEM INSPECTIONS ................................................................................ 90 5.13.1 Unstable embankments abutting tops of channels. 90 5.13.2 Repair concrete damage caused by rock fall ........... 90 SUMMARY OF RECOMMENDATIONS ................................................... 90

CHAPTER 6: RESEARCH FINDINGS: IRRIGATION WATER USE AND MANAGEMENT .... 92 6.1 6.2

6.3

INTRODUCTION – AIMS, SCOPE AND RATIONALE .................................... 92 RESEARCH APPROACH ..................................................................... 93 6.2.1 Identifying anticipated impact pathways ............................... 93 6.2.2 Qualitative data collection ..................................................... 94 6.2.3 Qualitative data analysis ........................................................ 96 FINDINGS .................................................................................... 96

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6.4 6.5 6.6

6.3.1 Small-holder farmer perceptions of water delivery and infrastructure maintenance ................................................... 96 HYPOTHESIS TESTING AND DISCUSSION ..............................................104 SUMMARY ..................................................................................111 RECOMMENDATIONS .....................................................................111

CHAPTER 7: RESEARCH FINDINGS – POTABLE WATER SUPPLY.................................113 7.1 7.2

7.3

7.4 7.5 7.6

INTRODUCTION – AIM, SCOPE AND RATIONALE.....................................113 RESEARCH APPROACH ....................................................................114 7.2.1 Identifying anticipated impact pathways ............................. 115 7.2.2 Field inspections ................................................................... 116 7.2.3 Qualitative data collection ................................................... 116 FINDINGS ...................................................................................117 7.3.1 Small-holder perceptions of household water delivery and infrastructure maintenance ................................................. 117 7.3.2 Field observations of well infrastructure ............................. 120 HYPOTHESIS TESTING AND DISCUSSION ..............................................122 SUMMARY OF FINDINGS .................................................................124 RECOMMENDATIONS .....................................................................124

CHAPTER 8: RESEARCH FINDINGS – SANITATION FACILITIES AND THEIR USE ...........125 8.1 8.2 8.3

8.4 8.5 8.6

INTRODUCTION – AIM, SCOPE AND RATIONALE.....................................125 RESEARCH APPROACH ....................................................................128 8.2.1 Identifying anticipated impact pathways ............................. 128 FINDINGS ...................................................................................129 8.3.1 Small-holder perceptions of sanitation infrastructure installation, maintenance and use ....................................... 129 HYPOTHESIS TESTING AND DISCUSSION ..............................................137 SUMMARY OF FINDINGS .................................................................139 RECOMMENDATIONS .....................................................................140

CHAPTER 9: INFORMATION MANAGEMENT FOR MAINTENANCE AND PLANNING ...142 9.1 9.2

9.3 9.4

INTRODUCTION ............................................................................142 INVENTORY OF CHANNEL DAMAGE, SEDIMENT SOURCES, AND PROCESSES OF SEDIMENT ENTERING CHANNELS .......................................................142 9.2.1 Aim ....................................................................................... 143 9.2.2 Methods ............................................................................... 143 OUTCOMES .................................................................................143 INITIAL IMPLEMENTATION OF THIS PROJECT .........................................144 9.4.1 Open Data Kit ....................................................................... 144 9.4.2 Field trials using Open Data Kit ............................................ 145 9.4.3 ODK Build ............................................................................. 147

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9.5 9.6

9.4.4 ODK Collect........................................................................... 148 9.4.5 ODK Aggregate ..................................................................... 149 DISCUSSION ................................................................................153 RECOMMENDATIONS .....................................................................154

CHAPTER 10: CAPACITY BUILDING .........................................................................156 10.1 INTRODUCTION ............................................................................156 10.2 CAPACITY BUILDING ACTIVITIES ........................................................156 10.2.1 CAPACITY BUILDING FOR ENGINEERING METHODS156 10.2.2 CAPACITY BUILDING FOR SOCIAL RESEARCH METHODS ............................................................................. 157 10.3 FINDINGS ...................................................................................164 10.4 RECOMMENDATIONS .....................................................................165 CHAPTER 11: LIST OF KEY RECOMMENDATIONS .....................................................166 11.1 TOWARDS IMPROVED CATCHMENT MANAGEMENT (CHAPTER 4) ..............166 11.2 IMPROVING IRRIGATION WATER DELIVERY – PHYSICAL INFRASTRUCTURE (CHAPTER 5) ...............................................................................167 11.3 MANAGEMENT OF IRRIGATION SYSTEMS (CHAPTER 6) ...........................168 11.4 INCREASING ACCESS TO SAFE DRINKING WATER IN IRRIGATION AREAS (CHAPTER 7) .............................................................................................169 11.5 ACCESS TO ADEQUATE SANITATION (CHAPTER 8) ..................................169 11.6 INFORMATION MANAGEMENT FOR MAINTENANCE AND PLANNING (CHAPTER 9, AND OTHER CHAPTERS))..............................................................170 11.7 CAPACITY BUILDING (CHAPTER 10) ...................................................171 11.8 FURTHER RESEARCH ......................................................................171 CHAPTER 12: REFERENCES .....................................................................................173 12.1 PAPERS, REPORTS AND WEBSITES REFERRED TO IN THIS REPORT................173 12.2 OTHER RELEVANT WEBSITES, REPORTS AND INDONESIAN GOVERNMENT LEGISLATION ................................................................................178 ANNEX 1: CURRICULUM VITAE OF PROJECT TEAM MEMBERS AND LISTS OF WORKSHOP PARTICIPANTS ...................................................................................184 ANNEX 2: CURRENT STATUS OF IRRIGATION INFRASTRUCTURE IN KAMBANIRU, AESESA AND NOELMINA CATCHMENTS, NTT .........................................................225 ANNEX 3 SOCIAL DATA COLLECTION TOOLS AND GUIDELINES ...............................305 ANNEX 4: SUMMARY OF PROGRAMS REGARDING MANAGEMENT OF IRRIGATION INFRASTRUCTURE AND IRRIGATION WATER DELIVERY IN NTT................................315 ANNEX 5. SOCIAL DATA COLLECTION TOOLS AND GUIDELINES FOR INVESTIGATING ACCESS TO POTABLE WATER AND ADEQUATE SANITATION....................................318

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ANNEX 6. SUMMARY OF EXISTING PROGRAMS REGARDING SUPPLY OF POTABLE WATER IN NTT ......................................................................................................323 ANNEX 7. AIMS FOR INVESTIGATING SANITATION .................................................326 ANNEX 8. SUMMARY OF EXISTING PROGRAMS REGARDING SANITATION IN NTT ...327 ANNEX 9. GUIDELINES FOR KEY INFORMANT INTERVIEWS .....................................330

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LIST OF TABLES

Table 1.1: Indicators of WISMP I project success (Source: World Bank 2012) ............... 26 Table 2.1 Summary of project activities ......................................................................... 34 Table 2.2: The project outputs, outcomes and end users for each research question. . 36 Table 2.3 Capacity building activities, participants and skills learnt............................... 42 Table 3.1 Members of the Project team, comprising the Core research team and the Advisory team, their expertise and affiliation. ............................................................... 44 Table 4.1 Critique of assumptions underlying current catchment policies in NTT. ........ 56 Table 4.2 Methods for monitoring sediment sources .................................................... 57 Table 8.1 Percentage of households with access to various toilet facilities in two subdistricts in irrigation areas in the lower part of the Kambaniru catchment in East Sumba, January 2014. ................................................................................................... 126 Table 8.2 Outcomes reported after one year of implementation of the CLTS program in selected kelurahan (Kel) in irrigated areas in East Sumba. ........................................... 127

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LIST OF FIGURES

Figure 1.1 Schematic representation of links between catchment processes and irrigation, sanitation and drinking water resources for household use in irrigated areas. ........................................................................................................................................ 15 Figure 1.2 Location of the eastern Indonesian Province Nusa Tenggara Timur (NTT) with detailed maps of the major catchments including irrigated areas: (a) Kambaniru, East Sumba, (b) Noelmina, West Timor, and (c) Aesesa, Flores. ............................................ 16 Figure 1.3 Maps of the three irrigation areas included in this research: (a) Kambiniru catchment, near Waingapu city, East Sumba (b) Noelmina catchment, near Linamnutu village, South Central Timor (TTS) and (c) Aesesa cathment, near Mbay, Nagakeo, Flores Island. ................................................................................................................... 19 Figure 4.1 Laws and regulations that relate to catchment management planning in NTT province, with District examples for East Sumba District. .............................................. 56 Figure 4.2 Schematic representation of the method used to calculate the weir pool capacity in the Kambaniru river, East Sumba (Hobgen 2016). ....................................... 59 Figure 5.1 Relative locations of Waingapu, Lambanapu, Mauliru, and Bendung Kambaniru. (Google Earth V 6.2.2.6613. (February 7, 2013). Sumba Island, Indonesia. 9° 41´ 34.73´´ S, 120° 17´ 49.17´´ E, Eye altitude 11.45 km. SIO, NOAA, U.S. Navy, NGA, GEBCO. TerraMetrics 2012, Digital Globe 2012. http://www.earth.google.com [24 June, 2015]) .............................................................................................................................. 64 Figure 5.2 Manhole locations between Maurilu and Mau Hau irrigation districts.Flowpaths (blue arrows) show the direction of ephemeral flow in steep sided ravines The ravine to the left intersects the channel at right angles. The channel flows within the ravine to the right. .......................................................................................................... 67 Figure 5.3 A maintenance manhole between Maurilu and Mau Hau irrigation districts recently constructed to allow sediment removal from the underground section of the secondary irrigation channel. Vegetation has established in the channel. .................... 68 Figure 5.4 The area where approximately 32 ha is permanently flooded. The relationship between the irrigation channels and the channel contstructed to drain the water to the secondary irrigation channel is shown. The surface water catchments affecting the flooded area are labelled C1 to C5, inclusive. North is to the right of this photograph. .................................................................................................................... 70 Figure 5.5 Estimated catchment boundary (blue) of the ephemeral stream at Lambanapu and its relationship to the irrigation channels (red) and weir. ................... 73

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Figure 5.6 Estimated flooded area in the lower reaches of the ephemeral stream downstream of the irrigation channels. ......................................................................... 74 Figure 5.7 The yellow line above shows the location of the proposed ephemeral stream diversion channel with flow toward the north. .............................................................. 74 Figure 5.8 The saturated area from the floor of the alluvial valley showing the dominant vegetation as Typha sp. (bull rushes). The distant tree line towards the top of the photograph indicates the location of the primary irrigation channel. ..................... 75 Figure 5.9 Looking North East across the flooded area towards the main irrigation channel. Innundation of the now ruined rice paddy field may be seen in the centre of the photograph. .............................................................................................................. 76 Figure 5.10 Initial catchment analysis showing where the Southern secondary irrigation channel appears to drain to the saturated area, and surface catchments (C1, C2, C3, and C4) which drain to the “groundwater” site.............................................................. 77 Figure 5.11 Google Earth view of the Aesesa River weir and irrigation primary channel layout, Mbai, Flores. (Google Earth V 6.2.2.6613. (November 21, 2014). Flores Island, Indonesia. 8° 33´ 22.28´´ S, 121° 16´ 51.71´´ E, Eye altitude 8.57 km. SIO, NOAA, U.S. Navy, NGA, GEBCO. TerraMetrics 2012, Digital Globe 2012. http://www.earth.google.com [12 December, 2015]) ................................................... 82 Figure 5.12 Severe damage to the supporting column for the primary channel middle gate headworks. Downward force on the right flood gate has lifted the middle and left headworks and they are suspended in mid-air. The supporting girder is bent. ............. 83 Figure 5.13 Wall repair on a section of primary channel Aessesa River catchment, Flores. Unstablised embankments abut the top of the concrete channel providing a cumulative source of sediment along the length of the channel where these exist...... 86 Figure 5.14 Goodle Earth image showing the location of the Linamnuitu weir on the Aesesa River, West Timor. The part of the primary channel inspected is also shown. (Google Earth V 6.2.2.6613. (October 7, 2013). West Timor Island, Indonesia.10° 01´ 42.75´´ S, 124° 09´ 22.70´´ E, Eye altitude 4.48 km. SIO, NOAA, U.S. Navy, NGA, GEBCO. TerraMetrics 2012, Digital Globe 2012. http://www.earth.google.com [12 December, 2015]) .............................................................................................................................. 88 Figure 5.15 Sediment accumulation behind the new Linamnutu weir wall. .................. 89 Figure 6.1 Location of study kelurahan supplied with irrigation water from the Kambaniru weir in East Sumba District. Source: Hobgen (2016). ................................... 95 Figure 6.2 A schematic diagram of catchment management issues, and a list of some of the legislation governing the use and management of natural resources within a catchment. (Source: Collated by Norman Riwu Kaho, UNDANA, from sources provided by Director of Social Forestry and Watershed Management, Ministry of Forestry) .... 107

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Figure 6.3 Schematic representation of irrigation governance, Aesesa, Flores. From left to right: Location of irrigation infrastructure in the catchment, a map of the Aesesa catchment straddling two Districts, and aerial views of the weir, secondary channels and tertiary channels. (Source: Collated and created by Norman Riwu Kaho, UNDANA, with catchment graphic provided by Chief of NTT Watershed Forum) ........................ 109 Figure 9.1 Order in which the ODK tools were used in the field trial. .......................... 146 Figure 9.2 Trialled network structure for field data collection and storage for the NTT. ...................................................................................................................................... 147 Figure 9.3 The GUI, used in ODK Build, to create data entry forms for mobile telephone data collection............................................................................................................... 148 Figure 9.4 ODK Collect data entry widgets as they appear on an ASP. ........................ 149 Figure 9.5 The Google Cloud Platform server for Flores (http://aiira-cduflores.appspot.com) showing field data collect using ODK Collect on an ASP. ............ 150 Figure 9.6 Google Earth image showing the location of irrigation system data collected using ODK tools on an android smart phone. (Google Earth V 6.2.2.6613. February 19, 2005). Flores Island, Indonesia.8° 37´ 24.24´´ S, 121° 16´ 54.05´´ E, Eye altitude 26.58 km. SIO, NOAA, U.S. Navy, NGA, GEBCO.TerraMetrics 2012, DigitalGlobe 2012. http://www.earth.google.com [12 December, 2015]). ................................................ 151 Figure 9.7 Magnified view (see Figure 9.6) data collection locations in the vicinity of Dangga village. .............................................................................................................. 151 Figure 9.8 ODK Aggregate download showing the location of irrigation system data collected using ODK tools on an android smart phone. Further work is required to address data formats such as time zone and, accuracy and altitude with respect to significant figures. ......................................................................................................... 152 Figure 9.9 Working with UNDANA colleagues adapting ODK to specific research data collection needs. L-R Jenny Markus, Ken Evans, Monishka Narayan, Norman Riwu Kaho, Utma Aspatria. .............................................................................................................. 154 Figure 10.1 Diagrammatic representation of the components of capacity building. Source: Potter & Brough (2004).................................................................................... 156

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ACRONYMS ADB

Asian Development Bank

AIIRA

Australia Indonesia Infrastructure Research Awards

ASP

Android Smart Phones

AUD

Australian Dollar

BAPPEDA

Provincial Planning Office

BWRC

Basin Water Resources Council

CDU

Charles Darwin University

CLTS

Community-Led Total Sanitation

DFAT

Department of Foreign Affairs and Trade

Dinas Pups

Local Government Public Works Water Resources Departments

FGD

Focus group discussion

FORUM DAS

Provincial Catchment Management Forum

GEP

Google Earth Pro

GIS

Geographic Information System

GoI

Government of Indonesia

GP3A

Gabungan Perkumpulan Petani Pemakai/Federation of Water Users Associations

GTZ

Gesellschaft für Technische Zusammenarbeit/German Technical Cooperation Agency

GUI

Graphic User Interface

ISF

Irrigation Service Fees

IUWASH

Indonesia Urban Water Sanitation and Hygiene

IWIRIP

Indonesia Water Resources and Irrigation Reform Implementation Project

IWRM

Integrated Water Resource Management

JIWMP

Java Irrigation Improvement and Water Resources Management Project

JMP

Joint Monitoring Program

KII

Key informant interview

KOPPESDA

NGO for Coordination of Natural Resource Management Research

MDG

Millennium Development Goals

MHM

menstrual hygiene management

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MOH

Ministry of Health

NGO

Non-Government Organisation

NTB

Nusa Tenggara Barat

NTT

East Nusa Tenggara Province

O&M

Operation and maintenance

OD

Open defaecation

ODF

open defaecation free

ODK

Open Data Kit

P3A

Perkumpulan Petani Pemakai Air/Farmer Water Users Association

PAMSIMAS

Penyediaan air minum dan sanitasi berbasis masyarakat/Community Based Provision of Drinking Water and Sanitation

PDAM

Perusahaan Daerah Air Minum, District Government-owned Water Companies

PPSIP

Participatory Irrigation Systems Policy

PPSP

GoI Accelerated Sanitation Development Program

PWRC

Provincial Water Resoruces Council

QGIS

Quantum Geographic Information System (free software)

RIEL

Research Institute for the Environment and Livelihoods, CDU

Rp

Indonesian Rupiah

RPJMN

National Medium‐Term Development Plan 2010-2014

RRA

Rapid Rural Appraisal

RUSLE

The Revised Universal Soil Loss Equation

SAGA

System of Automated Geographic Analysis (free software)

SEIT

School of Engineering and Information Technology, CDU

SSIMP

Japanese Small Scale Irrigation Management Project

STBM

Sistem Total Berbasis Masyarakat (Community Based Total Sanitation; the GoI policy equivalent of CLTS)

STIE

STIE University, Sumba, NTT

TIRTA

Tertiary Irrigation Technical Assistance

TL

Timor Leste

TTS

Kabupaten Timor Tengah Selaten/Regency of South Central Timor

UNDANA

University of Nusa Cendana, Kupang, NTT

UNICEF

The United Nations Children's Fund

USAID

United States Agency for International Development

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UW

University of Washington

WASH

Water Sanitation Hygiene program

Watsan

Drinking Water and Sanitation

WHO

World Health Organisation

WISMP

Water Resources and Irrigation Sector Management Program, World Bank

WRC

Water Resources Council

WSLIC II

The Second Water and Sanitation for Low Income Communities Project

WSP

Water and Sanitation Program

WSS

Water and Sanitation Services

WUA

Water User Association

WUAF

Water User Association Foundations

WVI

World Vision Indonesia

YMTM

Yayasan Mitra Tani Mandiri

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EXECUTIVE SUMMARY This 18 month project brings together a multidisciplinary research team of engineers, natural resource and agricultural scientists, government sanitation officers and planners and social scientists, from northern Australia and East Nusa Tenggara Province (NTT). The research team is built upon longstanding collaborative partnerships, and has also created opportunities for new partnerships to form. This project addresses the management of water resources in three irrigation developments, one each in Sumba, Flores and west Timor. In light of previous experiences in these communities we have integrated consideration of irrigation, sanitation and household water resources. This integrated approach reflects the realities of living in and managing the water resources within irrigation developments, and proved highly productive and engaging for participants. Key findings are:      

High catchment sedimentation rates present challenging environments for irrigation infrastructure developments; Irrigation water supply for the intended use of rice cultivation is unsatisfactory and ranges from adequate to non-existent; Water user groups in many locations are described as not functional; Irrigation infrastructure operation and maintenance is fragmented among four tiers of governance, consequently resulting in uncoordinated and ineffective decision making and actions; Decision-making and governance of sanitation infrastructure is fragmented between departments (Public Works and Health); and Information does not flow equitably nor sustainably through the communities, which may be impacting on both household sanitation and agricultural production.

Key outputs of the project are:     

A field inspection strategy to document weir and channel maintenance needs, and recommendations for implementation; A proposed and field tested tool for documenting the maintenance and repair requirements of irrigation infrastructure, that could include and assist all four tiers of governance; Interview and focus group discussion tools and protocols for investigating community perceptions of governance and management of irrigation, sanitation and potable water resources; Capacity for “Realist” approaches to thinking about and problem solving for the issues identified in the key findings; and Strengthened existing partnerships and forged new partnerships among members of a multidisciplinary research team of engineers, natural resource

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and agricultural scientists, government sanitation officers and planners and social scientists, from northern Australia and NTT. With more irrigation infrastructure projects underway or planned, we recommend a further longer term project that: 



 

Tests the findings and outcomes of this project and implements action research to minimise further negative outcomes through activities in existing and imminent irrigation developments as “before, during and after” irrigation case studies; While retaining a fully integrated interest in all aspects of water management, and using both biophysical and social science tools, continues to explore the mechanisms for both success and failure in the management, use and access to irrigation, sanitation and potable water resources; Due to impacts on the educational and employment opportunities of women and girls, includes a focus on menstrual sanitation issues in future sanitation studies; and Investigates opportunities to value-add to both the locally focussed and smaller-scale projects such as this, AIIRA- and IndII-funded projects, and the large-scale national projects funded by World Bank, UNICEF and large aid consortia.

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BACKGROUND

CHAPTER 1: BACKGROUND 1.1 INTRODUCTION This study investigates the inter-related issues of catchment characteristics, irrigation water management, drinking water supply and sanitation in irrigated areas in eastern Indonesia. This approach is justified biophysically by the links between high sediment loads in rivers impacting on the function of irrigation infrastructure, irrigated fields that have a distinctive hydrology (i.e. high water tables) that impacts both positively and negatively on household sanitation issues, and the fact that irrigation water itself is used for household sanitation purposes (Figure 1.1). In addition to biophysical relationships among these resources, their access and use by the community is underpinned by the use and management decisions of four levels of government Central, Provincial, District and Village - and the community of users.

Figure 1.1 Schematic representation of links between catchment processes and irrigation, sanitation and drinking water resources for household use in irrigated areas.

Improving irrigation infrastructure

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For this reason we have assembled a multidisciplinary research team of Indonesian and Australian colleagues, with expertise in engineering and water management, environmental science, evaluation and social science, and public health. The project has drawn upon the expertise, participation and contributions of government staff (primarily District) from Public Works, Health and Planning departments. Participants at workshops, report-back and field activities have also included Non-Governmental Organisations (NGOs) that focus on community health and community development. In addition to capacity building for all these levels of participation, we have also ensured that students and junior staff from tertiary institutions have benefited from participation in all activities. The project takes an integrated approach to water management and use in irrigation developments in the lower catchments of three major river systems in the eastern Indonesian province of Nusa Tenggara Timur (NTT). It builds upon previous studies of catchment sedimentation, the performance of irrigated rice systems and a new focus (for this team) on household sanitation and access to potable water. 1.2 CONTEXT FOR THE RESEARCH In the eastern Indonesian province of Nusa Tenggara Timur, NTT (Figure 1.2), problems of water and food security are chronic and threaten lives and livelihoods. The Province has a monsoonal wet-dry tropical climate, and water resources are limited, with high inter-annual variability. Most (80%) of the people of NTT live in rural areas and rely on agriculture for their livelihoods (Foenay 2000). NTT has a high proportion of food insecured households (e.g. WFP 2009, Timmer 2004).

d

c

a b

Figure 1.2 Location of the eastern Indonesian Province Nusa Tenggara Timur (NTT) with detailed maps of the major catchments including irrigated areas: (a) Kambaniru, East Sumba, (b) Noelmina, West Timor, and (c) Aesesa, Flores.

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BACKGROUND

(a)


17

(b)

18

BACKGROUND

(c)

Figure 1.3 Maps of the three irrigation areas included in this research: (a) Kambiniru catchment, near Waingapu city, East Sumba (b) Noelmina catchment, near Linamnutu village, South Central Timor (TTS) and (c) Aesesa cathment, near Mbay, Nagakeo, Flores Island. Weirs and irrigated rice fields were constructed in the lower reaches of the major catchments of NTT province with considerable support from the Japanese Small Scale Irrigation Management Project (SSIMP). However paddy production remained low (Booth 2004), with a typical irrigated rice productivity of 1-1.5 t/ha in NTT compared with 6-8 t/ha in western Indonesia (BPS 2010). There are multiple factors contributing to low productivity of irrigated rice in NTT. Delivery of irrigation water is generally inequitable and unreliable because of problems with both the physical function of infrastructure and the governance and management of water delivery (Myers et al. 2012). The islands of Indonesia have some of the highest rates of sediment transport in the world (Milliman et al. 1999). The high erodibility of the landscapes of NTT results in rapid filling of weir pools with sediment: for example sediment has filled 85% of the Kambaniru weir pool in East Sumba 18 years after


19

construction of the weir (Hobgen et al. 2014). Sedimentation in irrigation channels severely restricts irrigation water delivery. The required on-going maintenance of sediment in irrigation infrastructure is often lacking. The delivery of irrigation water is controlled by officers, called Perkumpulan Petani Pemakai Air (P3A), and in many cases their management is ineffective. People living in irrigation areas of NTT face problems with domestic water supply and adequate sanitation. In the irrigation areas with raised water tables, wells are generally a year-round source of water. However, not all households have access to a well and there is uncertainty about the quality of this water for drinking, particularly where wells are located close to sanitation facilities, animal pens or channels carrying drainage water from paddy fields. Although well water is usually boiled before drinking, this is not always the case. Irrigation water is often used for washing but this practice is associated with skin irritations. Many houses do not have a toilet and it is common for several households to share toilet facilities. In the irrigation areas there is the added problem of high water tables rendering septic systems ineffective. There is some reluctance to use toilets and the practice of open defaecation is common. This study investigates issues of delivery of irrigation water, access to suitable domestic water supply and access to and use of adequate sanitation in irrigated areas of NTT province. It is clear that these issues are influenced by physical infrastructure, governance and management, and behaviour. To address these aspects of these issues we have assembled a multi-disciplinary team. 1.3 RESEARCH APPROACH The project focuses on irrigated areas, drawing on new and previous field work in three NTT catchments. We have taken a multi-sectoral approach to the investigation of water access, use and management, by including investigations of irrigation, sanitation and household water resources. Multi-disciplinary methods have been used: integrating investigations from the disciplines of engineering (field inspections of infrastructure), of environmental science (review of sources of sediment), and of social science (collection of interview and focus group data about practices and behaviours relevant to management, maintenance and use of infrastructure). In doing so, we have melded the conventions of reporting findings from these different disciplines, with the aims of making a coherent report while maintaining the integrity of these different research disciplines. This research was underpinned by collaborations supported by long-standing crossinstitutional relationships among university researchers and academics, NGOs and district governments, in northern Australia and NTT. The project team is committed to mutual capacity-building between both Australian and Indonesian partners, in research and problem solving in eastern Indonesia. The project prioritised collaborative decision-making and action, drew upon relative strengths of project team members according the task at hand, and including capacity building in many aspects of the project management and execution (e.g. co-chairing, inclusion of senior students or junior staff in training, prioritising local advice, conducting activities in both English and Indonesia; details in Table 2.3).

20

BACKGROUND

The social data collection used a realist approach (Pawson & Tilley 2004; Westhorp 2014). Central to the realist approach is the aim to understand how different contexts trigger mechanisms of change – or prevented them. Although the project was not able to undertake a full realist methodology, the realist approach informed the social data collection and analysis. We developed discussion and interview tools about the use, governance and management for irrigation infrastructure, potable water supply and sanitation. We have also allowed for a consideration of gender in the gathering of social data by asking mainly women about sanitation issues, and mainly men about irrigation issues, based on local advice about typical household and community responsibilities. Collation and review of findings from recent research have highlighted the need for effective engagement with stakeholders during all stages of infrastructure development. Experiences of recent support for farmers by NGO and government programs have demonstrated the potential to improve the efficacy of these developments. 1.4 LINKS WITH INDII, DFAT AND GOI INFRASTRUCTURE OBJECTIVES AND POLICIES There are direct links between this Activity and objectives and policies of Australian and Indonesian government programs. This research will directly address three of DFAT’s strategic goals (as articulated in the Comprehensive Aid Policy Framework):   

saving lives, by improving water and sanitation; improving returns from investment in irrigation infrastructure, to promote food security and mitigate the negative impacts of projected climate change; supporting decentralised governance, by building capacity at the district levels to monitor key indicators of irrigation system function

This research aligns with the Government of Indonesia National Medium Term Development Plan - GoI RPJMN (2010-2014) particularly in the phase of consolidation of reforms by increasing human resources through capacity building in science and technology. It directly aligns with four of the eight National Development Missions:    

increasing national competitiveness by applying developments in science and technology to sustainable innovation; realising development that is equitable and just, by pro-poor activities focusing on improving livelihoods of the rural poor in eastern Indonesia; realising an Indonesia that is balanced and sustainable, by placing irrigation developments within landscape scale ecology; strengthening the role of Indonesia in the international community, through collaborative research and development activities and partnerships.


21

This research will directly support the aims of the Indonesian Infrastructure Initiative to improve delivery of water and sanitation services (including links with the Government of Indonesia [GoI] accelerated sanitation development program, PPSP), strengthen governance at the district level, and increase the beneficial impacts of irrigation infrastructure development on livelihoods of the rural poor. Local acceptance of infrastructure developments and effective asset maintenance are major issues in irrigation systems of eastern Indonesia. Responsibility for construction and maintenance reside with different agencies, variously at the National, Provincial and District levels. This research will build capacity at the District level to oversee and advocate for more effective infrastructure management, engendering greater ownership of these assets and enabling coordination among levels of government. 1.5 SUMMARY OF PAST AND CURRENT RELATED PROGRAMS IN THE AREA 1.5.1 BASIN AND IRRIGATION MANAGEMENT In recent times Indonesia’s water resources and irrigation sector has moved from centralized development and investment to a decentralised system of service delivery (Higgins et al. 2014; World Bank 2012). Food shortages provided the impetus between 1969 and 1989 for investment in irrigation infrastructure development, with the aim of achieving rice self-sufficiency. Some 2.5 million hectares of irrigation areas were rehabilitated and 1.7 million hectares of new areas were developed. Rice selfsufficiency was achieved in 1984, but not sustained (World Bank 2012). In order to address a lack of productivity, in 1987 the Indonesian Government adopted an irrigation operation and maintenance policy, which included the introduction of irrigation service fees (ISF). However, the ISF failed because the funds were directed to regional revenue offices not to irrigation systems, and so farmers were reluctant to pay. Results were unsatisfactory because there was (Vermillion et al. 2011): inadequate participation of water user associations (WUAs) and local governments in water use policy; (b) unclear and poorly funded arrangements for technical and institutional support services; (c) allocation of operation and maintenance (O&M) budgets on an average per ha rather than actual needs for a system; and (d) rapid deterioration of infrastructure as 60-85% of O&M funds went to staff and urgent repairs rather than routine maintenance. The earlier national level increases in rice production were mainly from Indonesia’s western islands, which received most policy attention (Booth 2004), and which have a tradition of irrigated rice cultivation. In the 1990’s the Central Government shifted focus to the lagging production in less fertile eastern Indonesia, where it directed government poverty policies and development funds (Booth 2004). This enabled the construction of weirs and other infrastructure for irrigated rice cultivation in the lower reaches of the main catchments in the province of Nusa Tenggara Timur (NTT) (Brunns 1999). A Central Government irrigation project, with Japanese aid, resulted in eight large irrigation weirs, eight small irrigation weirs, 33 diversion weirs and 600km of canals, irrigating a total of approximately 200,000 hectares in NTT (Sato, Yamaji & Kuroda 2011). Despite this investment in irrigation infrastructure, productivity of irrigated rice in eastern Indonesia remains low, and typically lower than in western

22

BACKGROUND

Indonesia - the average yield in NTT is approximately 3.2 t/ha compared to the average of 5.7 t/ha on Java (BPS 2014). An important development in water policy has been the water reforms introduced in 2004 (Law No.7/2004) which introduced three principles of community participation, strong institutions and good information systems and management, to complement the three pillars of conservation, utilisation and disaster mitigation in the previous law (Law No 11/1974) (Azdan 2011). Regarding irrigation specifically, Government Regulation No. 20 of 2006 on irrigation also stipulates community involvement in management. The Development and Management of Participatory Irrigation systems policy (PPSIP) states (Adzan 2011): 



 



Development and management of irrigation is conducted through a participative approach which involves all stakeholders especially farmers in the whole process of decision making and implementation of development and management; Development and management of irrigation systems is conducted in an integrated manner by considering the interests of the users of irrigation at the upper, middle, and downstream; Distribution of authority and responsibility among central government, provincial governments, district governments, and farmers; Task redefinition of irrigation management institutions, empowerment of water user associations, and establishment of irrigation commissions as institutions of coordination and communication; and The importance of asset management to ensure efficient financing of irrigation management.

Indonesia has a three tier government system and all three tiers are involved in each irrigation infrastructure development. Thus management of infrastructure is fragmented (Vermillion et al. 2011). The Central Government is responsible for funding and implementing large projects such as weir construction, O&M is largely decentralised to District Governments, and tertiary channel are maintained by water users associations. Vermillion et al. (2011) identify three key development projects that provide insights into the barriers for effective irrigation management: 



In 1995, the Asian Development Bank (ADB) and the GoI initiated the FarmerManaged Irrigation Systems Project (FMISP), which aimed at developing a participatory approach with joint investment between government and WUA for O&M as well as rehabilitation and upgrading. In 1998, the World Bank and GoI began the Java Irrigation Improvement and Water Resources Management Project (JIWMP) that supported participatory


23



irrigation management and development as well as other elements of water sector and river basin management reform. In 2001, the interventions from JIWMP were expanded to 12 provinces with the Indonesia Water Resources and Irrigation Reform Implementation Project (IWIRIP), with funding from The Netherlands.

These projects resulted in 400 Water User Association Federations (WUAFs) being established in 235 schemes that served 315,000 ha. Importantly, management transferred to WUAF occurred in 61 schemes that serve 73,000 ha. Key benefits were improvements in O&M and gains in cost effectiveness of O&M, rehabilitation and upgrading (Vermillion et al. 2011). Conversely, key challenges that blocked successful irrigation management were identified as:   

Knowing how to achieve higher quality maintenance; The need for more significant contributions by farmers to the costs of management, rehabilitation and upgrading; and Ensuring use of government funds in ways that stimulate local investment and joint planning between the district Irrigation Services or Water Resources agencies and WUA and WUAF (Vermillion et al. 2011).

These projects, despite achievements, have not spread beyond the project sites to become a national movement – “partly for financial reasons, partly because decentralization has made a national reform program haphazard and partly, apparently because of lackluster political support” (Vermillion et al. 2011; p. 3). 1.5.2 IRRIGATION AND RURAL FUNDING PROGRAMS DFAT’s most recent program, Australia-Indonesia Partnership for Decentralisation – Rural Economic Development (AIPD-Rural), is a 10 year program ending in June 2022. Phase 1 ends in June 2017 and has a budget of AUD 112 million and has the aim of increasing by 30% the agricultural incomes of 300,000 small-holder farmers living in five provinces of eastern Indonesia: NTT, Nusa Tenggara Barat (NTB), East Java, Papua and West Papua (DFAT n.d.). AIPD-Rural focusses on markets for commodities to increase the incomes of poor male and female small-holder farmers, by working with private and public sector market actors, and raising farmer awareness of opportunities. AIPD-Rural will focus on smallholder farmer incomes, competitiveness, and agricultural constraints, and be more market-oriented in finding sustainable solutions that impact large numbers of farmers, and include investigation of business sector partnerships with irrigation user associations (DFAT n.d.). Almost all government constructed schemes remain under national, provincial or district Departments of Public Works. Water user associations (WUAs) are responsible for tertiary irrigation systems. In order to address short term impacts on farm incomes, AIPD-Rural will focus exclusively on the tertiary irrigation sector. Tertiary Irrigation Technical Assistance (TIRTA) is managed as a separate project under the AIPD-Rural umbrella (Higgins et al. 2014). It will also operate in eastern Indonesia

24

BACKGROUND

with its first phase concentrating in East Java, NTT and NTB provinces. The aim of the TIRTA project is to facilitate commercial investment in the provision of irrigation services to small-holder farmers in eastern Indonesia. In all, for the 42 month duration of the project, 35 facilitated investments are foreseen for these three districts as well as for other districts in East Java, NTT and NTB provinces. The project will aim to stimulate demand for investment by local investors and water user associations, for mutual benefit. The project will facilitate partnering of interested investors and farmer groups by: “identifying potentially viable sites through satellite imagery, field surveys, stakeholder and social impact mapping, and then by working with local investors and HIPPAs (Water User Associations) on technical and commercial business plans, reduce the risks associated with investment” (Higgins et al. 2014; p. 9). The Water Resources and Irrigation Sector Management Project (WISMP) aims to improve governance and maintenance of irrigation infrastructure and delivery to communities (World Bank 2012). This multi-million dollar project is funded largely by a loan from the World Bank and contributions from the GoI. It is led at the District level by BAPPEDA in conjunction with the District Agriculture Department and the Public Works Department. Within these overall program objectives the project development objectives of the WISMP Phase I were (World Bank 2012): 





Water allocation, water quality and water conservation improved in Project basins, and river infrastructure better maintained, through strengthened capacity for planning and management; and investments; Sector governance enhanced, and sector fiscal sustainability strengthened, nationally, and in Project basins, through setting up Water Resources Councils (WRCs); ensuring stakeholder involvement; unbundling of operational tasks, and Private Sector Participation; and improved cost recovery; and Increased agricultural productivity and improved performance of irrigation, based on participatory irrigation management, through setting up and strengthening WUAFs; strengthening restructured Local Government Public Works Water Resources Departments (Dinas PUPs); financing rehabilitation and improvement of existing irrigation schemes; and facilitating access to agricultural support services and micro-credit.

WISMP I worked to 10 indicators of success, which were assessed as largely being successfully achieved in the participating Districts (Table 1.1). The indicators suggest an intention to ensure good natural resources management, capacity building within Districts for infrastructure maintenance and to ensure delivery and participatory management via water use groups.


25

Table 1.1: Indicators of WISMP I project success (Source: World Bank 2012) WISMP I Performance Indicator

Achievement at 2012

Indicator 1: A Provincial Water Resources Council (PWRC) with appropriate stakeholder representation and its Secretariat established and functional Indicator 2: Basin Water Resources Councils (BWRCs) established with appropriate stakeholder representation and functional

Achievement: fully achieved

Indicator 3: Balai PSDA covering entire provincial territory established and operational with trained staff Indicator 4: A decree of Dinas PUP has been issued for role sharing in hydrometeorology between the relevant Dinas PUP and UPTD or Balai PSDA, and the hydromet network is operational Indicator 5: The provincial planning unit in Dinas PUP appropriately staffed and funded, and producing basin water resources management plans Indicator 6: Quality assurance plans and infrastructure maintenance plans produced and being implemented Indicator 7: Area of irrigation system is co-managed by WUAFs Indicator 8 Number of WUAFs established in 7 Participating Kabupatens Indicator 9: Number of IMF funding proposals received by the Irrigation Commissions from WUAFs in the 7 Participating Kabupaten

Indicator 10: Number of Participating Kabupaten that provide from APBD at least 60,000 Rp/ha O&M budget for their project schemes.

Achievement: 100% by number of BWRCs established (According to Water Law No.7/2004, BWRC establishment is based on need) Achievement: 100% by number of Balai PSDA Achievement: largely achieved

Achievement: virtually achieved based on the number of basin plans completed Achievement: fully achieved Achievement: 225% by number of hectare comanaged by WUAFs. Achievement: 135% by number of WUAFs established Achievement: 100% by number of proposals received by the Irrigation Commissions and endorsed by Dinas PUP. Achievement: 100% by number of Kabupaten providing the required O&M budget.

WISMP-II program is being implemented over five years (2012-2016). Based on the findings of WISMP 1 (World Bank 2012), Part 2 aims to build institutional capacity for the coordinated management of water resource basins and river infrastructure for the provision of water, and improve performance in service provision through water and irrigation system sustainability. WISMP II also aims to improve planning, programming, investment management, implementation of operations and maintenance, in order to

26

BACKGROUND

increase production of irrigated agriculture in the basins and irrigation systems selected for the program. WISMP II is a national program that includes four Districts in NTT. 1.5.3 COMMUNITY SANITATION AND WATER The United States Government through The United States Agency for International Development (USAID) is running a five year program called Indonesia Urban Water Sanitation and Hygiene (IUWASH) for 4 region clusters, but unfortunately it does not cover NTT province. The Project aimed to meet Millennium Development Goals (MDG) of targets of halving the number of households in 1990 without access to safe water and adequate sanitation by 2015 (USAID n.d.):   

mobilising demand; improving and expanding capacity; and strengthening the enabling environment.

The mechanisms for this are (USAID n.d.):   

increasing the demand for safe drinking water access and improved sanitation among urban communities and households; improving water and sanitation services provided by public and private sector institutions in urban areas; and improving supporting governance and financial structures that form the sector’s enabling environment.

One strategy of the USAID project is to support households to connect to local water utilities (PDAMs) through microcredit partnerships facilitated by IUWASH. Key lessons learned from the program to date include (USAID n.d.):  





Most challenges faced by the sector are fundamentally related to governance. Individual households, communities, local governments, utilities, and the private sector all have a vitally important role to play, and IUWASH recognizes that neglecting any single group risks the success of others. Comprehensive solutions to Indonesia’s water and sanitation issues likewise require the active participation of all parties – and most especially local communities. Strong support by the Government of Indonesia’s Central Planning Agency and Ministries of Public Welfare, Public Works, Health, Home Affairs, and others is critical to project success in the near term and the sustainability of its interventions in the long term.


27



Receiving the feedback of engaged individuals, households, communities, and local actors is essential for transparent and accountable service provision. Partnership guides IUWASH as it seeks to make the transformational change urgently required in most urban areas.

UNICEF is currently funding the Community-Led Total Sanitation program (CLTS), supported and implemented by District Health Department and local NGOs (UNICEF 2012) (Table 1.2a, Table 1.2b). Sistem Total Berbasis Masyarakat (STBM; Community Based Total Sanitation; the GoI policy equivalent of CLTS) integrates with CLTS. The CLTS program consists of a five pillar program for households and communities – to stop open defaecation (OD), promote hand washing, manage household waste, manage household drinking water, and manage household sewage (Kar & Saunders 2008) – with the aim of improving sanitation, through education and empowerment at the village level. This approach to sanitation aims for open defaecation free (ODF) communities (i.e. a collaborative and inclusive community goal). In Indonesia as a whole, according to official data, 1.7% of the rural population lives in ODF villages. Although low, the number of people living in ODF villages in Indonesia is four times higher than any other country in the UNICEF-defined East Asia and Pacific region (UNICEF 2012). Key findings of the project are presented in Tables 1.2a and Table 1.2b, and of particular relevance to this project include: that success should be measure by outcomes (behaviour change) not outputs (numbers of toilets); that further work on appropriate toilet technology is needed (in terms of householder knowledge, but also technical options actually available); that subsidies can undermine a sense of responsibility for household sanitation; and, that shared toilets do not nessearily work as a means of increasing toilet use.

28

BACKGROUND

Table 1.2a CLTS weaknesses and bottle necks (World Bank 2012 after Sources: Mukherjee (2012) Achieving and sustaining open defaecation free communities: learning from East Java, WSP; personal communications from Plan Indonesia, UNICEF, Ministry of Health and STBM secretariat).

What’s not working? 1. Evaluations revealed that communities with 100% access to toilets were often not ODF, and 1. Monitoring ODF by counting toilets communities that were slow to reach ODF often focused on monitoring latrine ownership rather 2. Poor quality CLTS process in some than behaviour change to eliminate OD. areas resulting in few improvements 2. No CLTS tools used, or none used correctly; only leaders and those without toilets involved in process; coercive approaches utilized. Context issues? 1. In some areas, rural households expect help in cash or kind from government or donors (thus are 1. Subsidy expectations unwilling to invest in their own facilities), or have previously received latrine subsidies. 2. Old habits die hard 2. Hard to change defaecation and hygiene habits, particularly among old people. Recognition and 3. Rotation of government staff awareness of the costs of OD remain low. 4. Presence of nearby water bodies 3. Regular transfers of government staff constrain the CLTS awareness, skills and capacity. 4. Communities located next to water bodies tended to prefer defaecation into water to latrine use. Constraints and bottlenecks? 1. Toilet sharing is sometimes a means to achieve ODF status, but sharing arrangements can break 1. Toilet sharing down, and sharers sometimes revert to OD over time, or continue with OD while sharing (e.g. when 2. Limited toilet repair or upgrading large groups share and the toilet can be occupied at critical times). 3. Little technology awareness 2. Households report a lack of funds to repair damaged toilets or upgrade to pour-flush facilities. 4. Local autonomy law 3. Lack of knowledge and awareness about toilet technology options. 5. Shortage of skilled facilitators 4. The Regional Autonomy Law No.32/2004 delegated responsibility for sanitation to elected


29

district governments, which makes it hard for central authorities to scale up the STBM strategy if sanitation development is not a priority of local governments. 5. Shortage of skilled CLTS facilitators at provincial and district levels

Lessons learned 1. Institutionalising the STBM is a big job 2. Awareness of no-subsidy policy remains limited 3. Local leaders important to process 4. Revolving funds are open to misuse 5. No-cost latrines affect ODF sustainability

1. Institutionalizing the national STBM strategy in provincial and district governments will require not only advocacy work, but also guidance and support in planning and implementation. 2. Awareness of the national STBM strategy, including its non-subsidy policy, is growing, but it remains a challenge to convince local government leaders of the benefits of a non-subsidy approach. 3. Exclusion of community leaders from triggering process led to less effective process. 4. Revolving funds are open to misuse by influential community members, which can slow progress. 5. Very low-cost or no-cost facilities built by households or community leaders to help achieve ODF had significant durability problems, often not being repaired or repaired when damaged or blocked.

30

BACKGROUND

Table 1.2b CLTS strengths and opportunities (UNICEF 2012 after: Mukherjee (2012). Achieving a nd sustaining open defaecation free communities: learning from East Java, WSP; personal communications from Plan Indonesia, UNICEF, Ministry of Health and STBM secretariat).

What’s working? 1. Triggering linked to demand 2. Community-devised systems of monitoring and sanctioning OD

1. Results were better where CLTS triggering was in response to community demand. 2. Community-devised systems for monitoring and sanctioning the practice of OD were found to be effective in sustaining ODF status.

Success factors? 1. High social capital 2. Triggering not accompanied by technical advice

1. Trusted local leaders, mutual self-help traditions (gotong royong) and pride in collective achievements were found to be contextual factors that supported sustainable ODF achievement. 2. Triggering was found to be more effective in achieving rapid ODF when not explicitly linked to advice on toilet building. However, access to information on affordable sanitation goods and services was found to be another success factor – thus sequencing of activities is clearly important.

Opportunities? 1. STBM Secretariat 2. Local strategies to manage and control hardware subsidies 3. PPSP programme 4. CCT National Program for


1. STBM secretariat developing capacity and expanding: responsible for development of workplan for STBM programme; M&E; knowledge management; and technical assistance. 2. Elected leaders and district legislators have the power to regulate the use of local funds for sanitation, including the introduction of rules governing how public and external funds are used to achieve collective and improved sanitation and hygiene behaviour outcomes (to complement other

31

Community Empowerment (PNPM) programme

finance and activities rather than undermining them). 3. Incorporating CLTS (in the broader STBM approach) into the PPSP programme offers the opportunity for dramatic scaling up and institutionalization of the approach. 4. WSP has been working on the incorporation of ODF status as a nutrition/health condition of the PNPM conditional cash transfer scheme. The possible future inclusion of an ODF indicator in this huge poverty alleviation programme would leverage substantial resources and capacity for sanitation improvement with significant long-term benefits for poor communities.

Lessons learned 1. Contextual diversity requires range of methods and tools 2. Post-triggering monitoring is an important sustainability element 3. Clustering and phasing strategies can be effective in scaling up progress

1. Indonesia has 33 provinces and 525 districts/municipalities with diverse physical and cultural contexts, thus requires a range of different methods and tools that allow for these varying contexts and provide practical and flexible guidance. 2. Regular post-triggering monitoring and follow up of behaviour change was linked to improved outcomes (and limited monitoring linked to poor outcomes). 3. Context, support and social norms affect progress: clustering interventions can improve costefficiency, saturate areas and change social norms; phasing interventions can allow different contexts and challenges to be tackled as local capacity, experience and demand develop.

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Goals and Objectives

CHAPTER 2: Goals and Objectives 2.1 GOALS The overall aim of this project was to build capacity to improve effectiveness of infrastructure for access to drinking water, sanitation and irrigation water, with the ultimate aim of improving the livelihoods of the rural population. The activities were in the eastern Indonesian province of Nusa Tenggara Timur (NTT). 2.2 RESEARCH OBJECTIVES AND QUESTIONS The specific objectives remained as reported in the initial project proposal, namely, to develop capacity at both District and Provincial levels to: i. develop effective governance related to water management and sanitation; ii. appraise existing water supply and sanitation infrastructure design in terms of appropriateness to local contexts; and iii. communicate local needs and potential solutions to local, District, National and international partners. The research questions are presented below, under the subject headings used for the chapters in which findings are presented: Chapter 4. Understanding the catchment Research question 1: What information is required to better understand catchment management practices that influence sedimentation? Chapter 5. Improving physical irrigation infrastructure Research question 2: Which engineering solutions can improve the function of irrigation infrastructure in the major catchments of NTT province? Chapter 6. Irrigation water use and management Research question 3: What aspects of governance support or impede management of irrigation water delivery in these areas? Chapter 7. Potable water supply Research question 4a: How can potable water supply be improved in irrigated areas?


33

Research question 4b: What aspects of governance support or impede improved drinking water supply in these areas? Chapter 8. Sanitation facilities and their use Research question 5a: How can functional sanitation be achieved in irrigated areas? Research question 5b: What aspects of governance support or impede adequate sanitation in these areas? Chapter 9. Capacity building Research question 6: In what ways have components of capacity been built during this project, and what steps could best continue this process? 2.3 PROJECT ACTIVITIES Table 2.1 Summary of project activities Note that capacity building activities are described in more detail in Table 2.3 Activities AugustDecember 2014

- Collation of existing data - Preliminary development of methods for data collection - Application for human research ethics approval - Written material translated into Bahasa Indonesia for circulation to project members February – - Further consultation with local government officers regarding March household access to watsan 2015 April 2015 - Preparation of content and planning logistics for Workshop and pilot field study May 2015 - Workshop at University Nusa Cendana in Kupang - Field visit to Kambaniru catchment in East Sumba. Participants: Government, NGO and university staff. Program included: - Presentation of overview of current data; - Presentation of principles underpinning realist approaches to research; - Formation of working groups; - Development of tools and guidelines for data collection; - Trial of data collection methods and reflection and revision of methods; - Field visits to inspect current irrigation infrastructure. June 2015 - Preliminary data analysis - Prepared Draft Final Report for IndII

34


July – September 2015 September 2015

November 2015

December 2015 To be advised

- Data collection by university and NGO staff using interview and focus group discussion tools and guidelines developed. - Data analysis and interpretation by Core Research Team in Darwin - Participation by Core Research Team in Realist Evaluation training workshops in Darwin - Review workshop and engineering and social science master classes in Kupang, including preparation for presentation at meeting in Jakarta. - Field site inspections by Engineering WG in Noelmina and Aesesa catchments. - Presentation at meeting in Jakarta - Final Report to IndII - Presentation of findings and recommendations at symposium in Jakarta

2.4 OUTPUTS, OUTCOMES AND END USERS The outputs, outcomes and end users are listed under the research questions they address in Table 2.2. Outputs are included as either Annexes or included in Chapters 4 to 10 inclusive (as indicated in Table 2.2).


35

Table 2.2: The project outputs, outcomes and end users for each research question. Research question 1. What information is required to better understand catchment management practices, upstream of the weir, that influence sedimentation? Output

Outcomes

End users

1.1 Literature review of sediment sources in the major catchments in NTT and recommendations for simple monitoring to inform means of reducing sedimentation. [Chapter 4]

1.1 Increased understanding of the sources of sediments in NTT and greater capacity to implement evidence-based catchment management.

FORUM DAS (provincial catchment management forum); district and provincial government officers (Forestry, BAPPEDA); local farmer groups; NGOs

1.2 Recommendations of basic data needed 1.2 Local capacity building planned to for to inform improved sediment management design basic monitoring to inform (i.e. how sedimentation and sediment management, including in the long term. supply is accounted for in weir and gate management). [Chapter 4]

University researchers; FORUM DAS (provincial catchment management forum); district and provincial government officers (Forestry, BAPPEDA and PU)

1.3 A method designed for estimation of 1.3 Understanding of how to estimate Local and international university researchers; weir pool capacity of the major weirs. sedimentation in weir pools. district and provincial government agency [Chapter 4] officers.

36


Research question 2. Which engineering solutions can improve the function of irrigation infrastructure in the major catchments of NTT province? Output

Outcomes

End users

2.1 Field description and audit of weirs and irrigation infrastructure, estimation of residual service life of major weirs in NTT, quantification of maintenance costs, and recommendations for more appropriate infrastructure. [Annex 2]

2.1 (a) Awareness of current irrigation District, Provincial and Central government infrastructure in NTT and some simple officers (Public Works, BAPPEDA); local farmer measures for improving function; (b) and water user groups; NGOs Understanding of the need for sediment management and other maintenance in irrigation systems in NTT.

2.2 Framework for information needs, for 2.2 Improved prioritisation and Provincial and District government officers irrigation infrastructure management, evidence-based decision-making about (BAPPEDA and Public Works); water user groups integrating function of primary, secondary irrigation infrastructure management. and tertiary gates and channels, and enabling an inventory of channel damage. [Chapter 5 Chapter 8, Annex 2] 2.3 Strategy for creating an information 2.3 Improved coordination framework that is sustainable and locally multiple levels of governance. managed and includes all relevant stakeholders. [Chapter 10]


among As above.

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Research question 3: What social factors can improve the management of irrigation water delivery in these areas? Output

Outcomes

End users

3.1 Tools for collection of data for 3.1 Local capacity to make a rapid University researchers (staff and students); investigating management and maintenance appraisal of processes affecting district government officers; NGO officers. of irrigation systems, and guidelines management of community assets. appropriate for use in rural developing settings. [Annex 3] 3.2 Assessment of the decision making processes that determine infrastructure maintenance and water delivery in one irrigation area in NTT. [Chapter 6]

3.2 Understanding of the factors Central, Provincial & District influencing decision making, and hence officers; local farmer groups underpinning poor water management, in irrigation areas.

government

3.3 Stakeholder analysis for current 3.3 Understanding of stakeholders that Central, Provincial & District BAPPEDA officers; governance and management processes. could implement improvements to local farmer groups; NGOs [Chapter 6] irrigation systems in NTT. 3.4 Recommendations for improving 3.4 Potential for improved productivity Central, Provincial & District government Public effectiveness and efficiency of irrigation of irrigation areas in NTT. Works; local water control officers (P3A & GP3A) systems. [Chapter 6] 3.5 Guidelines and criteria for appraising the 3.5 Greater capacity in the district and Central, Provincial & District government officers appropriateness of irrigation infrastructure provincial government agencies to (BAPPEDA, Public Works); local farmer groups; design and for management planning for critically evaluate proposed irrigation NGOs infrastructure developments, and

38


NTT. [Chapter 6]

anticipate maintenance requirements.

Research question 4a. How can improved potable water supply be achieved in irrigated areas? Research question 4b. What governance will support improved drinking water supply in these areas? Output

Outcomes

End users

4.1 Tools for collection of data investigating access to drinking water resources, and guidelines appropriate for use in a rural setting. [Annex 5]

4.1 Understanding by research team and Local and international university researchers other researchers in NTT of the (staff and students); NGO officers principles and processes for developing robust and culturally appropriate research tools and approaches.

4.2 Assessment of current systems for 4.2 Understanding of the factors District and provincial government officers accessing potable water within one irrigation influencing poor access to drinking (BAPPEDA, Health, Public Works); International area, including impacts of the irrigation water in irrigated areas. and local NGOs; water user & farmer groups system on water resources (accessibility and quality). [Chapter 7] 4.3 Recommendations for improving access 4.3 Understanding options for improving to potable water. [Chapter 7] potable water supply in these areas.

As above, plus Central government agencies

4.4 Guidelines and criteria for appraising the 4.4 Greater capacity in the district and Central, District and Provincial government appropriateness of potable water delivery provincial government agencies to officers (BAPPEDA, Department of Public Works, strategies for NTT. [Chapter 7] critically evaluate proposed potable Department of Health); Village leadership, water provision strategies, and


39

anticipate maintenance requirements.

International and local NGOs

Research question 5a. How can functional sanitation be achieved in irrigated areas? Research question 5b. What governance systems and practices will support adequate sanitation in these areas? Output

Outcomes

End users

5.1 Tools for collection of data for investigating access to and use of sanitation facilities, and guidelines appropriate for use in rural setting. [Annex 6]

5.1 Understanding of the principles and Local and international university researchers processes for developing robust and (staff and students); Provincial & District Dept appropriate research tools and Health officers; NGO officers approaches.

5.2 Assessment of current systems for access 5.2 Understanding of the factors District and provincial government officers to and use of sanitation within the main influencing poor access to and use of (BAPPEDA, Health, Infrastructure); International irrigation areas, including impacts of the adequate sanitation in irrigated areas. and local NGOs irrigation system on sanitation design. [Chapter 8] 5.3 Recommendations for improving access 5.3 Understanding of options for to adequate sanitation. [Chapter 8] improving sanitation in these areas.

as above

5.4 Guidelines and criteria for appraising the 4.4 Greater capacity in the district and appropriateness of sanitation strategies for provincial government agencies to NTT. [Chapter 8] critically evaluate proposed sanitation strategies, and anticipate maintenance requirements.

District and Provincial government officers (BAPPEDA, Department of Public Works, Department of Health); Village leadership, International and local NGOs

40


Research question 6: In what ways have the components of capacity been built during this project, and what were the main enabling and inhibiting factors? Output

Outcomes

End users

6.1 Evaluation of project activities by 6.1 More effective processes and International and local NGOs and providers of participants, particularly in terms of skills and approaches for the transfer of aid; Provincial, District and village administrators; knowledge gained. [Chapter 10] knowledge and skills across cultures and universities across disciplines. 6.2 Assessment of how skills and knowledge 6.2 Greater institutional engagement in As above gained can be applied by participants within development programs, to ensure their own institutions [Chapter 10] uptake and application of new skills and knowledge.


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2.5 CAPACITY BUILDING Mutual capacity building was central to the project, including building capacity to undertake high quality social research, make informed observations about physical function of infrastructure, and analyse, interpret and report results from the field. The project also provided all team members the opportunity to continue to build capacity for effective, collaborative research in a cross-cultural, cross-disciplinary team, and in eastern Indonesian. This capacity has been built within the core research team (Australian and Indonesian members) and within the teams of Indonesian field and workshop participants. The capacity building activities are listed in Table 2.3 and described in Chapter 10. Capacity building requires both gaining skills and having the opportunity to use those skills. The project has encouraged the use of skills gained by engaging senior academics in the development of research approaches during workshops and the implementation of methods in the field and the interpretation of findings. It was difficult for both Indonesian and Australian researchers to participate from their home campuses in the data interpretation stage so Indonesian researchers came to Darwin to work alongside their Australian counterparts during this stage.

Table 2.3 Capacity building activities, participants and skills learnt. Activity

Participants

Skills learnt

Workshop sessions on realist approaches to primary data collection

Core team and Indonesian staff and students who later collected data

Realist approach.

26- 27 May 2015

Pilot data collection in East Sumba and subsequent reflection and revision of methods 28-30 May 2015

Appropriate interview techniques for acquiring comprehensive information. Under supervision of expert social scientist Data collected by team of staff and students of UNDANA, CDU, STIE Revision of methods by data collectors and researchers

42

Design of tools for collection of social data

Culturally and ethically appropriate techniques for conducting interviews and FGDs Effective methods for probing questions for information Practice of reflecting on and revising research methods



Collection of primary data by interviews and FGDs, with frequent review of methods of questioning and recording

Data collected by team of staff and students of STIE

As above

Guided by a CDU researcher resident in East Sumba

July – August 2015 Workshop sessions on realist approach in Darwin 11-12 September 2015 Data analysis and interpretation in Darwin 14-17 September 2015

3 UNDANA researchers; 3 CDU researchers; 2 Indonesian district government staff

Realist approach to framing social research and designing data collection

3 UNDANA researchers; 3 CDU researchers; 2 Indonesian district government staff

Methods of extracting themes from social data Analysis of data to address research questions Integration of social and biophysical data to address broader research questions

Master class in social science in Kupang 18 November 2015


Core research team; data collectors; wider audience of staff and students from UNDANA and polyteknik

Understanding of concepts in engineering and social science relevant to access to domestic and irrigation water and sanitation in irrigated areas of NTT

43

CHAPTER 3: Team Composition 3.1 PROJECT TEAM MEMBERS The project team included engineers, geomorphologists, ecologists, social scientists and agricultural scientists from partner universities (UNDANA & CDU) and spatial scientists, sanitation engineers and infrastructure planners from local Indonesian government agencies and non-government organisations. The core research team members and their expertise are listed below ( Table 3.1) and curriculum vitae are provided in Annex 1. Participants in the in-country workshops and field trips (May & November 2015) and the social data analysis workshop in Darwin (August 2015) are also listed in Annex 1.

Table 3.1 Members of the Project team, comprising the Core research team and the Advisory team, their expertise and affiliation. Name

Expertise

Institution Core Research Team

Mr Utma Aspatria

Public Health

Prof Ken Evans

Hydrology & engineering

Dr Sarah Hobgen

Environmental science & livelihoods Agricultural science

Prof Herianus Lalel Ms Jenny Markus Mr Efraim Muga

Agriculture Infrastructure planning

Dr Bronwyn Myers Environmental science & livelihoods Dr Monishka Hydrology & engineering Narayan Mr Nelson Sanitation engineering Mr Sam Pickering Assoc Prof Emma Williams Dr Penny Wurm

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Nusa Cendana University (UNDANA), Faculty of Public Health Charles Darwin University (CDU), School of Engineering and Information Technology (SEIT) CDU, Research Institute for the Environment and Livelihoods (RIEL) UNDANA, Bioscience Laboratory UNDANA, Faculty of Agriculture District Planning Board, BAPPEDA, Nagekeo district, NTT CDU, RIEL CDU, SEIT

Project management Participatory evaluation

Department of Health, Timor Tengah Selatan (TTS) District, NTT CDU, RIEL CDU, The Northern Institute

Ecology & livelihoods

CDU, RIEL


Team Composition

Advisory Team Mr John Asbanu

Infrastructure planning

Prof Andrew Campbell Prof Wayne Erskine Dr Wayan Mudita

Land and water management Fluvial geomorphology

Prof Ruth Wallace

Agriculture & Governance Governance

Prof Bob Wasson

Geomorphology

District planning board (BAPPEDA), TTS, NTT Head of School, School of Environment and Director, RIEL, CDU CDU RIEL Adjunct UNDANA, Vice Rector (International) Director of The Northern Institute, CDU National University of Singapore, CDU

Writing team Dr Bronwyn Myers Environmental science & livelihoods Assoc Prof Emma Participatory evaluation Williams Dr Sarah Hobgen Environmental science & livelihoods Prof Ken Evans Hydrology & engineering Prof Herianus Agricultural science Lalel Dr Penny Wurm Ecology & livelihoods Ms Jenny Markus Agriculture Prof Charlie Civil engineering Fairfield

CDU, RIEL CDU, The Northern Institute CDU, RIEL CDU, SEIT UNDANA, Bioscience Laboratory CDU, RIEL UNDANA, Faculty of Agriculture CDU, SEIT

3.2 DISTRIBUTION OF TASKS ACROSS PARTNERS 3.2.1 RESEARCH MANAGEMENT Research management was shared between the two university partners. The primary contact at UNDANA was Prof Heri Lalel. The primary contact at CDU was Dr Bronwyn Myers. Due to ongoing health issues, Dr Myers delegated to Dr Penny Wurm and Dr Sarah Hobgen as required although Dr Myers contributed to strategic thinking throughout the project. Dr Wayan Mudita at UNDANA provided project and academic oversight. The one week workshop and field intensive in May 2015 was planned and coordinated by Dr Sarah Hobgen, a resident in East Sumba and bilingual CDU researcher, and Dr Heri Lalel, with academic advice from Dr Penny Wurm (CDU), Dr Bronwyn Myers (CDU),


45

Ms Jenny Markus (UNDANA) and logistic support from Dr Adrianus Amheka (UNDANA) and Mr Sam Pickering (CDU). The 10 day workshop in Darwin in May 2015 was planned and coordinated by CDU team members, and Realist Evaluation and Review were taught and facilitated by Dr Gill Westhorp and Associate Professor Emma Williams, with logistic support from Sam Pickering and Sarah Hobgen. The 10 day workshop in November 2015 was planned and coordinated by the core research team, who also presented preliminary findings to workshop participants. 3.2.2 RESEARCH IMPLEMENTATION The review of secondary data and the design and trial of methods for collecting primary data in the field was originally addressed by four Working Groups that were formed in the first workshop (in Kupang). The Working Groups were: (i) Engineering; (ii) Water and sanitation; (iii) Benchmarking and governance; and (iv) Monitoring. However, because of the multi-disciplinary nature of the investigations, the research team formed groups as the investigations required, often including members of several of the original Working Groups. Collection of primary social data was coordinated by Dr Sarah Hobgen and data analysis was carried out by the Core Research Team while in Darwin and afterwards at the home campuses. Field inspections of infrastructure were made in East Sumba in May and in west Timor and Flores in November. 3.3 INTERNAL QUALITY ASSURANCE The quality of the data collection tools and the way in which data were collected and recorded were assured in several ways: the tools were developed collaboratively by the partners to maximise local relevance, and to develop shared ownership and understanding of these tools; the preliminary data collection was carried out by larger groups of researchers after which the tools and recording of data were reflected on by all the researchers. Lessons learnt in this pilot data collection included the need to use effective but unobtrusive probing questions and the need to record the responses comprehensively in detailed transcript-like notes of interviews. Data have been collected from respondents from a range of socio-economic conditions. This ensured that a range of responses were captured and thus the findings present a reasonably comprehensive account of the situation in the field. The collection of social science data also included a process of cross-checking findings from household interviews and focus group discussions through subsequent key informant interviews with experts in sanitation, spatial planning, and community development in NTT. Further, findings from the preliminary analysis of the data (regarding physical infrastructure and aspects of decision making and behaviour) were presented at a review workshop near the conclusion of the project. This enabled critical commentary on these findings by a range of stakeholders. The report is the product of a multi-disciplinary team and sections were critically reviewed by members of the Advisory Team (Table 3.1), who provided advice regarding technical matters and policies for improved water management.

46


Team Composition

3.4 PARTNERSHIP’S RESPONSES TO MID-TERM REPORT Executive summary/introduction: The review of the Mid Term Report recommended a greater proportion of activities related to watsan issues in the remainder of the research period. This recommendation has been addressed by inclusion of watsan officers from government and non-government agencies in the discussion of watsan issues and the development and collection of data related to watsan issues. During the report back workshop with the project team in Kupang in November, avenues to disseminate the results to appropriate provincial and district bodies and NGO/donor organisations were also determined. Tables and Figures: The Mid Term report mentions the need to cite original sources of all reference material at the bottom of tables and figures. Names of the people who had created the maps were provided, where these were not developed by the research team itself. We were advised to enlarge or insert some multiple figures as separate figures in the final draft report to ensure the font was not too small to read. We have heeded this advice. Approaches and methods: Various suggestions were made about how the focus could be narrowed somewhat to ensure sufficient depth to the research undertaken. In line with these recommendations, the research has retained “a focus on both water and sanitation (under watsan), but that the investigation [should] pay more attention to the basic issue of sanitation.” Existing and past sanitation programs were discussed among the partners. Lessons learnt from their findings and modes of implementation informed the collection of data in the current project. As recommended, behavioural change was considered within an STBM approach (endorsed by the Ministry of Health (MOH) through MOH Decree No. 3/2014). Sanitation issues and how best to approach researching them with community members will be the focus of the final stage of this project. Results to date: Elaboration of the cause of high sedimentation rates was required for the final report. In the current report, such causes are described in chapter 4 of the report and in Annexes 2 and 3 with reference to a body of research conducted before the AIIRA-funded project. Challenges identified: The timeline has been adjusted to ensure data will be collected, analysed and reviewed in the final project workshop in time to present the findings at the AIIRA culminating conference planned for early in 2016. General comments: It was recommended that the final research should help provide decision-makers with some alternatives solutions so that IndII could possibly identify


47

other outlets for dissemination of results, besides the final workshop in Jakarta. The current report includes some locally appropriate alternative solutions to both physical infrastructure problems and social problems associated with governance and behavioural change. The review of the Mid Term report suggested restating the overall aim as "to add to knowledge needed to build capacity… ". It was noted that “the research will result in some good databases that can be used by others for analysis for other fields, for example, climate change… in which case the results should be made public.” We intend to publish the research findings on completion of the research and to present the results at appropriate forums as opportunities arise. The recommendation of the review was “the research could either focus on water security (as the title suggests) which is interpreted as proper allocation of water for all purposes, or to maintain sanitation aspects of the research, and if it does so, the scope needs to be expanded to include sanitation sector-specific issues such as behavioural change.” This choice was left to the discretion of the research partnership. The focus of the project was adjusted to (i) a review of water security (including governance of water delivery and problems of irrigation infrastructure function) based on secondary data, some primary data and field observations and (ii) an investigation of sanitation issues, in particular the need for behavioural change, based on secondary and primary data, with data collection restricted to one of the four major catchments in NTT province. 3.5 GENDER, SOCIAL INCLUSION, ENVIRONMENT ISSUES We specifically invited female researchers and staff of NGO and government agencies to join the research partnership. An even gender balance was achieved within the research team, and women researchers were targeted for interviewing on sanitation issues. Generally, interviews and focus groups included both male and female participants, while a women-only focus group was formed to discuss sanitation issues. The topics of the data gathering for sanitation issues particularly affected women. Social inclusion was achieved by conducting interviews with households from a range of socio-economic circumstances. Focus group discussions included members of farmers groups regardless of status. For the interviews conducted in July and August, sampling was extreme case sampling at village level, with convenience sampling within villages. This strategy was adopted to capture the range of socio-economic and cultural groups in the population of the irrigation areas. Environmental issues were addressed directly with respect to water quality, both with respect to a healthy water supply and options for reducing sedimentation in the weir pool and irrigation system. The research considered ways to improve irrigation infrastructure to increase the efficiency of the irrigation system, which in turn could increase water use efficiency on a farm or system scale. Sources of sedimentation were reviewed, thus improving our understanding of sedimentation and potential initiatives to reduce environmental impact.

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Team Composition

3.6 LESSONS LEARNED We found the multi-disciplinary approach, including biophysical and social aspects of management of sedimentation, irrigation, sanitation and drinking water use, rang true for participants in all aspects of this research, because it reflected the reality on the ground, namely that all these issues were related from the household level up. We plan to continue using this integrated approach for further research because it was so productive and elicited respondes from stakeholders. The multidisciplinary approach provides a more holistic understanding of the issues, how investigations can be developed and how alternative options can be framed. It also revealed some common governance issues that can be more widely applied. However, we also found this approach made it challenging to prepare this report. The report is quite long because of the many topics being covered. Also, the authors have tried to remain respectful of the specific conventions of each discipline, in terms of how data are presented and findings reported, while aiming to produce a report that is coherent and also readable to a diverse professional audience. We found enthusiastic engagement of the project team and endsusers of the findings throughout the project. We believe this was achieved by preparatory briefings and discussions to reach a consensus on aims and approaches, before and during workshops, and by remaining flexible to eventualities arising before, during and after project activities. Consistent with past experience, engagement of a range of participants ensures relevance to local context, including: improved understanding of government regulations and practice; and consistency with local, cultural contexts. There were valuable shared learning experiences in developing methods and tools collaboratively, particularly the in-depth discussions about methods, and especially also reflecting together critically on the pilot data collection. We believe that the integration of problem identification with the in-project development of tools to use in addressing project findings provides a pathway for future uptake of the project findings and for ongoing collaborations by the continuing and new partnerships involved in this research.


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CHAPTER 4: Research findings – Understanding the catchment 4.1 INTRODUCTION – AIM, SCOPE AND RATIONALE This chapter addresses the research question: What information is required to better understand catchment management practices that influence sedimentation? First, the current understanding of sediment sources in catchments in NTT and Timor Leste (TL) based on published research are summarised, providing an introduction to recent and evolving landscapes with high erosion rates and subsequently high sediment loads in rivers. High sediment loads are one of the causes of loss of water storage and sedimentation of irrigation channels, predominantly in the lower parts of the large catchments. Despite a lack of understanding of sediment sources and hydrological context, Indonesian government policies at both the provincial and national level have legislated water resource and catchment management planning, to perform rehabilitation works aimed to reduce sediment loads in rivers and allow allocation of water resources. Policies are based on a number of assumptions of hydrological function and sediment sources which are demonstrated to be largely false in the landscapes of the NTT. Thus, even if the plans were implemented successfully, it is highly unlikely that there would be a significant decreases in sediment loads. The final section proposes the future monitoring and research required to understand (i) hydrological and climatological parameters affecting water volume available for irrigation, (ii) sediment loads in rivers and sedimentation rates, (iii) sediment sources, and (iv) target rehabilitation works. 4.2 METHODS This section constitutes a review of the current understanding of catchment processes and appropriate management practices. The review was informed by published research, discussions with the multidisciplinary project team (which included government officials, NGO practitioners and local researchers) and field observations. 4.3 REVIEW OF CURRENT UNDERSTANDING OF RELATIVE CONTRIBUTIONS OF SEDIMENT SOURCES IN NTT AND TL Understanding sediment sources is a crucial step in planning for reduction of sediment production, and therefore reduction of sedimentation of infrastructure. High sediment loads in rivers have a number of impacts: (1) sedimentation of water storage infrastructure; (2) sedimentation of irrigation infrastructure and a subsequent reduction in volume of water in the irrigation network; (3) loss of habitat for fish and other animals through filling of deep holes; and (4) general shallowing of the river bed,

50


Research findings – Understanding the catchment

reducing storage and increasing the tendency of rivers to shallow, widen and braid when a large mass sediment is introduced (Gupta 2013). High sediment loads can be expected with a dynamic geology and particularly with a wet-dry tropical climate. Milliman et al. (1999) suggested that the major islands of the East Indies (Sumatera, Java, Borneo, Sulawesi, Papua and Timor) may contribute up to 20-25% of the sediment supply to the oceans, globally, from only 2% of the global land area. The characteristics of these islands; high maximum elevation, high rainfall intensity, relatively short rivers (high stream power), steep slopes and earthquake activity, are shared with much of eastern Indonesia. In addition, the fire prone savanna vegetation, high population density and high rainfall intensity at times of sparse ground cover are expected to exacerbate erosion. The major catchments of NTT are located on the three main islands; Timor, Sumba and Flores. The physical and social contexts are introduced in Section 1.2, but to understand the potential sediment sources a deeper understanding of the physical context is provided here. The islands of Timor and Sumba are part of the outer Banda Arc group of islands which largely consist of sedimentary rocks, and still experience high rates of annual uplift: 1.5-2mm in Timor (Standley & Harris 2009); 0.7mm Sumba (Fortuin, Van der Werff & Wensink 1997). Flores is part of the inner Banda Arc of islands and, in contrast with Timor and Sumba islands, these islands are predominantly of volcanic origin and still have active volcanoes, with quite extensive sedimentary formations in coastal areas. This distinction is important in terms of sediment sources, as volcanoes are associated with steep slopes of deep, unconsolidated material and deep fertile soils. The wet-dry tropics are characterized by an annual short, intense wet season in which the majority of rainfall occurs, followed by a long dry season with little rainfall. This climate often supports savanna vegetation, broadly defined as grasslands with varying densities of tree cover (Kottek et al. 2006). Savannas are some of the most fire prone vegetation on earth, and by the end of the long dry season fire risk and fire intensity increases (Bradstock et al. 2012). Late dry season fires can remove the majority of ground cover, leaving much of the ground bare at the time of the first intense rainfall events of the wet season. For the 2003-2004 period, 29% of the land area of East Sumba, and 11% of central Flores (Ngada & Nagakeo) was burned (Fisher et al. 2006). Preliminary results from ongoing research in the Benenain catchment indicate that 67% was burnt last year (2014), but on average 39% is burnt annually (Haleberek unpublished). High erosion risk has been identified for many frequently burnt areas on hillslopes (using the Revised Universal Soil Loss Equation [RUSLE]) (Haleberek, in preparation).


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Recent studies in the Caraulun catchment, East Timor, (Rouwenhorst 2013) and Kambaniru catchment, Sumba, (Hobgen et al. 2014) used a combination of GIS and remote sensing, field surveys and interviews with local farmers to understand the relative contribution of different sediment sources to the sediment load in the river. Hobgen et al. (2014) used free global data sets including Landsat satellite imagery (earthexplorer.usgs.gov), Worldclim (worldclim.org) and high resolution imagery on Google Earth analysed in SAGA GIS free open source software to estimate the contribution of river bank erosion, gully erosion and landslides to sediment in the Kambaniru River. The relative topsoil erosion risk across the catchment was also mapped using a free geospatial approach to applying the RUSLE equation (Wischmeier & Smith 1978), however due to problems with applying the RUSLE across the catchment to determine sediment production (Hinderer 2012) and questions of accuracy of the estimated erosion rates in the wet-dry tropics (Brooks et al. 2014) radionuclide tracers were applied to determine the topsoil contribution to river sediment. The results of this study showed that sediment in the Kambaniru weir pool was composed of 30% topsoil. The remainder was the result of sub-surface erosion processes, in particular, channel change (23%) and gully erosion (8%), which is consistent with sediment sources in the large catchments of northern Australia (Wasson et al. 2010, Shellberg et al. 2011). Approximately 20% was estimated to be bedload (Ziegler et al. 2014) and 15% of sediment composed of subsoil remained unaccounted for. Landslides contributed a small proportion of sediment, approximately 1%. In the Caraulun catchment, East Timor, during the period 1986 to 2006, landslides contributed the greatest amount of sediment to the river (49% of known sources), of which 14% is estimated to result from earthquake-induced landslides, and 35% from rainfall-induced landslides. Riverbank erosion contributed 35% of sediment, while erosion of surface soil by sheet and rill processes was estimated to contribute just 17% of sediment to the river (Rouwenhorst 2013). The average uncertainty for these estimates is 7%. Little is known about sediment sources in the Noelmina River catchment. However, it shares many characteristics with the Caraulun River catchment: it is a moderate to large catchment located on the south coast of Timor and has high maximum elevations in the upper catchment (2491m in Caraulun; 2390m in Noelmina), creating steep slopes and a high gradient riverbed. Observations in the field and on Google Earth indicate that landslides and river bank erosion are also likely to be a significant source of sediment in the Noelmina catchment. The magnitudes of sediment transport and sediment sources in the Aesesa catchment are also largely unknown. RUSLE mapping indicated that, similar to the Kambaniru catchment, high topsoil erosion rates are predicted for many parts of the catchment (Witz & Muga 2009), particularly on the steep long slopes with grassland cover which are frequently burned. This indicates that topsoil erosion may also be a significant source of sediment. Cultivated plots are sparsely distributed so it is unlikely that

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shifting agriculture is a significant cause of sediment reaching the river, although erosion rates on individual plots may be high. Few landslide scars are visible in the Aesesa catchment compared with catchments in Timor, either on satellite imagery on Google Earth or from field observation, although the size and extent of landslide scars requires further investigation. The riverbed is narrow in comparison with rivers of a similar catchment area in Timor, indicating the river banks may be more stable than those of Timor, however District government officers report channel bank erosion is a common problem in the Aesesa catchment. The distribution and extent of topsoil erosion is influenced by both inherent physical factors (rainfall, slope, length of slope) and factors influenced by people (land cover type and density, conservation practices) (Wischmeier & Smith 1978). As already established, Flores, Timor and Sumba have long steep slopes and high rainfall intensity during the wet season, thus the physical factors already indicate high erosion rates. Land cover has been influenced by humans in this landscape over a long period. Farmers are thought to have occupied this region for at least 3500 years, and hunter gather tribes for up to 50,000 years before them (Boomgaard 2007; O’Connor et al. 2010), thus there has been a long history of human influence on land cover in this region. Currently over 70% of the Kambaniru consists of grasslands which are frequently burned (Hobgen 2015). Burned grasslands are subject to high erosion rates due to the lack of landcover, particularly during the first intense storms of the wet season, following a long dry season. While high rates of erosion are also likely to occur on shifting cultivation plots, this erosion is a small proportion of the total for the catchment because less than 2% of the catchment area is farmed in any one year (Hobgen 2015). It is acknowledged that erosion associated with channel change in a braided stream is a likely ‘natural’ consequence following a large input of sediment. Other river bank erosion processes were reported by farmers in Sumba: river bank erosion and gully initiation following (1) clearing of riverbank vegetation for farming; (2) cattle accessing the river for drinking; and (3) disturbances associated with mining of river gravel (Hobgen 2015). All of these processes cause destabilisation of river banks, and subsequent river bank erosion and gully initiation during flood events. The underlying causes of this riverbank destabilisation are likely to include increasing population pressure on fertile land, government programs encouraging communities to move closer to essential services and therefore concentrating demand for fertile land, and the building of permanent concrete structures for essential services (including roads, health centres and schools). It should be noted that the broad river bed and close proximity of the Noelmina River to Kupang also creates demand for gravel from the urban community. Research in progress is investigating the environmental and social impacts of manganese mining in the Noelmina catchment, which are currently largely unknown (www.asm4d.wordpress.com). It should be noted that while gullies were determined to be an important sediment source in the Kambaniru catchment, they only occurred on deep black vertisol soils on the Kananggar geological formation, and


53

similar soil types have not been observed in the Noelmina catchment during preliminary field observations. Potential solutions to river bank erosion may include: (1) revegetation of unstable river banks with mix of native and economically productive trees and shrubs; (2) establishment of permanent locations for gravel excavation, with erosion control structures and excavator access points; and (3) reductions to sediment input to river channels. Monitoring of efficacy is recommended, using permanent stakes to measure distance to river bank in high erosion areas and where revegetation methods are trialed. Landslides in the NTT region are largely the result of geomorphological factors, due to high rates of geological uplift associated with earthquakes, steep slopes and intense rainfall, thus rehabilitation work is not likely to be effective remediation in these cases. Some landslides are caused by road building on steep slopes, and this could be more important in the future as road density increases. Riverbank and gully erosion have negative impacts on small-scale farmers by reducing their land area and are likely to make a significant contribution to sediment load in all the major catchments in NTT. Rehabilitation works are most likely to be effective and implemented if focused on preservation and reestablishment of riverbank vegetation, using trees and perennial grasses with multiple values for livestock feed, firewood, cash crops and native local plants. Fire is a major precursor to high rates of surface soil erosion in East Sumba and is likely to make a significant contribution to surface soil erosion in the other major catchments. The primary concern is large, uncontrolled fires occurring throughout the mid-late dry season in grassland area, leaving the soil surface bare during the first intense rains of the wet season. All projects intended to reduce the environmental impact of farming and improve livelihoods need to contain a fire control aspect, in order to protect investments made by farmers and donor/government organisations. An action research approach should be taken to trialing restoration methods including improved fire management, and preservation and restoration of riverbank vegetation, considering both socio-economic and physical parameters. 4.4 CATCHMENT MANAGEMENT PLANS AND PRACTICES IN NTT Catchment management in NTT is governed by a range of regulations created at the national and provincial levels relating to land and water management (Figure 4.1). Two national laws form the legal basis for these regulations; the Foundation Forestry Law (RI 1999) and the Water Resources Law (RI 2004). Subsequently separate, and sometimes conflicting, policy streams have emerged from the forestry and water infrastructure perspectives, with additional policies relating to fire and urban flood management. Both forestry and water policy streams prescribe whole of catchment planning, though currently there is no formal/legislated interaction between the two planning processes. It should be noted that the Water Resources Law of 2004 has

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recently been rescinded (2015) as it was determined there was potential for privatization and prioritization of private sector water requirements, the replacement laws remain in draft form and have not yet been enacted. NTT provincial catchment management regulations prescribe a holistic catchment management approach, coordinated by a multi-stakeholder forum and engaging a range of government, university, business, NGO and community stakeholders. The planning process can be described as empowerment on the stakeholder participation scale described by IAP2 (2013). In contrast, the National catchment management regulations prescribes a technocratic planning process, which only requires engagement with relevant government agencies, and this can be described as ‘informing the public’ on the stakeholder participation scale (IAP2 2013). In theory it may be possible to implement the more inclusive provincial government catchment management policy because it does not contradict the national government policy: it is more comprehensive and incorporates the features of catchment management plans described by the central government policy, but uses a multi-stakeholder approach. However, as the majority of funding for catchment management comes from the Central government, it is the Central government policy that has been adhered to at this time (Norman Riwu Kaho, pers. comm, 2015, UNDANA and member of provincial catchment management authority).


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Figure 4.1 Laws and regulations that relate to catchment management planning in NTT province, with District examples for East Sumba District. The catchment and water resource management policies share a number of major assumptions with regard to sources of sediment in the catchment. These assumptions are largely contradicted by recent research (Table 4.1). Table 4.1 Critique of assumptions underlying current catchment policies in NTT.

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Assumptions underlying policy

Research findings for Kambaniru catchment (Hobgen 2015)

Upper catchment is sole source of sediment

Upper, mid and lower parts of the catchment contribute sediment

Shifting agriculture is the major cause of erosion

Shifting agriculture accounts for